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Autumn Legal Business Update October 2016
Submitted: 19 July 2017
On 03 July 2017, the Financial Conduct Authority (FCA) published Policy Statement, PS 17/19, containing the final rules by which it will transpose key conduct of business requirements under MiFID2. These will affect what the FCA acknowledges will be “a wide range of regulated and recognised firms".
Submitted: 12 July 2017
On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the AIFMD” by including three additional questions regarding reporting information to national regulators.
Submitted: 02 June 2017
The European Securities and Markets Authority (ESMA) has published an Opinion, aimed at ensuring that the national competent authorities in the remaining 27 EU Member States take a consistent approach to the authorisation of UK entities looking to relocate into the EU following Brexit.
Submitted: 31 May 2017
The European Securities and Markets Authority (ESMA) has expressed its view that the use of a blanket order cancellation policy can, depending on the circumstances of the case, rebut the presumption of insider dealing in the situation where an order is cancelled after inside information relating to that order had been received.
Submitted: 20 April 2017
An overview of the scope and impact of the new ERISA fiduciary rules.
Submitted: 03 April 2017
Seward & Kissel have published the results of their most recent study examining key trends and strategies currently affecting the hedge fund marketplace.
Submitted: 31 March 2017
Intermediaries marketing certain speculative products in Spain must comply with strict measures to ensure retail investors are fully aware of complexity and associated risks.
On 27 March 2017, the FCA published amended forms to be used by AIFMs notifying the FCA of an intention to market AIFs in the UK under the national private placement regime (NPPR).
Submitted: 14 March 2017
The FCA has flagged up what it sees as failings by investment management managers to put into practice the regulator's findings in relation to best execution and use of dealing commission.
FS Alerter: UK and EU
Legal Headwinds: Asia
Legal Headwinds: UK/EU
Legal Headwinds: NL/EU
Oversight: Hong Kong
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